Results 1 to 5 of 14

New York Court Rules Rule 67 Deposit Cannot be Used to Pick Off Named Plaintiffs in Putative Diet Pill Class

USA - March 10 2016 Recently, a New York court held that a putative class action Defendant’s depositing of funds sufficient to cover the full amount of a plaintiff’s…

Lawrence I Weinstein

FINRA’s 2016 Examination Priorities Identifies New Initiatives on Market Integrity and Firm Culture and Further Concern on Supervision and Controls

USA - January 8 2016 The recently issued 2016 Regulatory and Examination Priorities Letter discloses FINRA's new initiatives on market integrity and firm culture and…

Brian L Friedman, Harry Frischer

When it Comes to Arbitration Agreement Class Action Waivers, Concepcion is Still the Law, Even in California

USA - January 4 2016 In 2014, we blogged about a California state appellate court decision invalidating the arbitration clause in DIRECTV's consumer contracts. We found…

Lawrence I Weinstein, Jennifer Yang

Ruling allows Gerber false advertising suit to crawl onward

USA - September 29 2015 For plaintiffs concerned that the Fourth Circuit Court of Appeals' June 19, 2015 decision in Brown v. GNC Corp. signaled the muscling in of a…

Alexander Kaplan, Jennifer Yang

SEC sanctions senior executives of failed clearing broker

USA - September 19 2015 On Thursday, the SEC announced charges against several senior executives of Penson Financial Services Inc., once the second-largest clearing…

Harry Frischer